Stephen Caggiano is a registered investment advisor, based in Havertown, PA, with 32 years of industry experience.
Location
236 W Westwood Park Dr, Havertown, PA, 19083
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen owns a tax accounting/preparation company since 1982, dedicating full-time hours to it. He is also an independent insurance agent since 2000, but spends minimal time on this activity.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
July 2008 - Present · 17 yrs 10 mos
Cambridge Investment Research, INC.Broker
July 2008 - Present · 17 yrs 10 mos
Previous Registrations
Princor Financial Services Corporation
September 2006 - July 2008 · 1 yr 10 mos
Princor Financial Services CorporationBroker
March 2005 - July 2008 · 3 yrs 4 mos
Princor Financial Services CorporationBroker
June 2003 - December 2004 · 1 yr 6 mos
1717 Capital Management CompanyBroker
January 1997 - April 2003 · 6 yrs 3 mos
H.D. Vest Investment Securities, INC.Broker
September 1993 - January 1997 · 3 yrs 4 mos
State Registrations11 states
DCDEFLHIMAMDNHNJPAVAWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.